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Compliance Assistance for New and/or Small Contractors

Compliance Assistance for New and/or Small Contractors Developed in conjunction with the OFCCP Sample Affirmative Action Program (AAP ). AAP Requirements. Who Must Develop an AAP?. Federal Contractors/subcontractors With:. 50 or more employees AND : Contracts in excess of $50,000; OR

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Compliance Assistance for New and/or Small Contractors

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  1. Compliance Assistance for New and/or Small Contractors Developed in conjunction with the OFCCP Sample Affirmative Action Program (AAP)

  2. AAP Requirements

  3. Who Must Develop an AAP? Federal Contractors/subcontractors With: • 50 or more employees AND: • Contracts in excess of $50,000; OR • Depository of government funds; OR • Paying and issuing agent of U.S. Savings Bonds; OR • Bills of Lading in excess of $50,000 (per year) 41 CFR § 60-2.1(b)

  4. AAP What is an Affirmative Action Program? • A written strategic plan designed to promote equal employment opportunities. • It includes policies, practices, and procedures the contractor implements which allows all qualified applicants and employees to participate equally in the recruitment, selection, advancement, compensation, and every other termand privilege associated with employment. 41 CFR § 60-2.10(a)(3)

  5. How is an Affirmative Action Program used? • Tracks progress in all employment actions • Allows federal contractors to evaluate employment processes and compensation • Identifies problem areas and promotes corrective action

  6. Executive Order11246 AAP Requirements Organizational Profile*#1 Job Group Analysis*#2 Availability Analysis*#4 Placement Goals*#6 Designation of Responsibility Identification of Problem Areas Action-Oriented Programs Internal Audit and Reporting Support Data*#7-11 *Scheduling Letter Itemized List

  7. Organizational Display • For each organization unit, the display must indicate: • The name of the unit • Title, gender, race, ethnicity of the unit supervisor • Total # of male and female incumbents • Total # of male and female incumbents in each of the following groups: Blacks, Hispanics, Asian/Pacific Islanders, and American Indians/Alaskan Natives 41 CFR § 60-2.11(b)

  8. Federal Contractor, Inc. (FCI) January 1, 2011 Sample AAP Page 3

  9. Workforce AnalysisSample AAP Page 4 • A listing of each job title ranked from the lowest paid to the highest paid within each department or similar organizational unit including departmental or unit supervision • For each job title, the total number of incumbents, total number of male and female incumbents, and the total number of male and female incumbents for each ethnic group represented Note: All titles, including all managerial titles, must be listed 41 CFR §60-2.11(c)

  10. FCI - Workforce Analysis January 1, 2011(Sample AAP, Page 4)

  11. Job Groups • Combines jobs at the establishment with similar: • Content (duties) • Opportunity (training, transfers, promotions) • Wage Rate (pay ranges, bonus, benefits) • Smaller contractors (<150 employees) may use EEO-1 categories as job groups – 41 CFR § 60-12(e)) 41 CFR § 60-2.12

  12. Job Group Analysis • Must include a list of the job titles that comprise each job group. • All jobs located at an establishment MUST BE REPORTED in the job group analysis of that establishment. 41 CFR § 60-2.12(c)

  13. Job Group Analysis: Listing of Titles Page 9-10

  14. Utilization AnalysisPlacement of Incumbents in Job GroupsItemized Listing # 3Sample AAP Page 11 • Contractor must separately state the percentage of minorities and the percentage of women it employs in each job group. 41 CFR § 60-2.13

  15. Utilization AnalysisPlacement of Incumbents in Job GroupsJanuary 1, 2011 (Sample AAP Page 11)

  16. Determining AvailabilityItemized Listing # 4Sample AAP Page 12 • An estimate of the number of qualified minorities or women available for employment in a given job group … • Expressed as a percentage • Considers two factors: • External • Internal 41 CFR § 60-2.14

  17. 2 Factor Availability Analysis • Requisite Skills in Reasonable Recruitment Area: The percentage of minorities or women with requisite skills in the reasonable recruitment area • http://www.census.gov/eeo2000/index.html • State Employment Service Data • College Graduation Data • Internal Promotable/Trainable Pools: The percentage of minorities or women among those promotable, transferable, and trainable within the contractor’s organization. 60-2.14(c)(1-2)

  18. Two Factor Availability Analysis: Factor 1 22 Professionals 2011 18.4 40.2 10% 1.84 4.02 18.4 x .10 = 1.84 40.2 x .10 = 4.02

  19. Apply the feeder group statistics for the Factor 2 Analysis Two Factor Availability Analysis: Factor 2 Professionals 22 2011 20.1 44.6 90% 18.09 40.14 20.1 x .90 = 18.09 44.6x .90 = 40.14

  20. Utilization Analysis: Determining Availability(Sample AAP Page 12)

  21. Comparing Incumbency to AvailabilityItemized Listing # 5 Sample AAP Page 13 • … compare the % of minorities and women in each job group with the availability • When the % of minorities or women employed in a particular job group is less than would reasonably be expected given their availability percentage in that particular job group, the contractor must establish a placement goal 41 CFR § 60-2.15

  22. Establishing Placement GoalsItemized Listing # 6Sample AAP Page 13 • Placement goals serve as objectives or targets • Annual placement goal at least equal to the availability figure derived for women or minorities, as appropriate • In all employment decisions, the contractor must make selections in a nondiscriminatory manner 41 CFR § 60-2.15/16

  23. Utilization Analysis: Comparing Incumbency to Availability and Establishing Placement Goals

  24. Goals Are Not Quotas Contractors are not measured by whether or not it meet its goals, but rather by the good faith efforts it demonstrates. CFR 60-2.35

  25. Designation of Responsibility for Implementation Assigning responsibility and accountability to CFR 60-2.17(a)

  26. Identification of Problem Areas Action-Oriented Programs Good Faith Efforts 41 CFR § 60-2.17(b)/(c)

  27. Internal Audit and ReportingItemized Listings # 9, 10, 11 • Document personnel activities • Require internal reports • Review results with all levels of management • Advise top management of program effectiveness • Recommend improvement 41 CFR § 60-2.17(d)

  28. Support Data and Recordkeeping

  29. Support Data(Itemized Listing - # 7 and 8) • EEO-1/Standard Form 100 for the last three years • CBA – Copies of the Collective Bargaining Agreements

  30. Support Data (Itemized Listing – # 9) • Information on Affirmative Action Goals: • For the preceding AAP year • Where applicable for the current AAP year

  31. Support Data(Itemized Listing - # 10) • Data on employment activity (applicants hires, promotions, and terminations) for the preceding AAP year. • Employment activity data for the current AAP year, (if six months or more into current AAP year)

  32. Support Data Prior Year 01/01/2010 thru 01/31/2010 Part I

  33. Support Data Prior Year 01/01/2010 thru 01/31/2010 Part II

  34. Support Data(Itemized Listing # 11) Annualized Compensation Data • Wages, Salaries, Commissions, and Bonuses • By either: • Job Group, Rate, Grade, or Level showing • Total Number of Employees by Race and Gender and Total compensation by Race and Gender • Prefer in an electronic format.

  35. Compensation Analysis – Data Submissions - DATE

  36. Recordkeeping • Federal contractor’s are required to maintain employment records • Job applications, resumes, self-identifications forms, interview notes, etc. • Must be able to provide gender and race or ethnicity for each employee • Where possible, the gender, race, or ethnicity for each applicant or Internet Applicant 41 CFR § 60-1.12(c)

  37. Adverse Impact A substantially different rate of selection in hiring, promotion & other employment decisions, which works to the disadvantage of members of a race, sex or ethnic group 41 CFR § 60-3.4

  38. 80% Rule (4/5’s Rule) A comparison of selection rates between groups to check adverse impact Total M F Applicants: 292 234 58 Hires: 93 91 2 Hire Rates: 38.9% 3.4% IRA = 0.09 (3.4/38.9) which is less than .80

  39. Component Analysis If an adverse impact analysis shows that the total selection process for a job has adverse impact, the individual components of the selection process should be evaluated for adverse impact Must include each component in the total employment process

  40. Component Analysis Explained Identify the steps in the employment process Fill Out Application Pre-Screen Pre-Employment Test Interview Drug Test Hire

  41. Adverse Impact Analysis Promotions/Transfers/Terminations • Promotions – • Initial incumbents or qualified pool versus number promoted OUT OF (how many did you start with/consider?) • Transfers – • Qualified pool of consideration, who was eligible or initial incumbency • Terminations/Layoffs – • Voluntary versus Involuntary, be prepared to explain. If the turnover is over 50%, you may need to add hires for the year to the beginning incumbency data.

  42. Adverse IRA finding is only a preliminary indicator. It is not proof of discrimination.

  43. Additional Requirements(Job postings and Notices)

  44. Section 503 and VEVRAA Affirmative Action Programs • The prescribed AAP for individuals with disabilities and protected veterans may be develop separately or combined. • Affirmative Action program required under Section 503 and VEVRAA do not require numerical placement goals. • See Sample AAP Pages B1-B15

  45. The Rehabilitation Actof 1973, as amended(Section 503) Sample AAP Page 32 or Appendix B • Government contract and subcontracts in excess of $10,000 for the purchase, sale or use of personal property or nonpersonal services. • The Americans with Disabilities Act, as amended (ADA), Section 503, and VEVRAA, all require reasonable accommodations.

  46. Vietnam Era Veterans’ Readjustment Assistance Act(VEVRAA) (Section 4212)Sample AAP Page 32 or Appendix B • Government contract of $100,000 or more, entered into or modified on or after December 1, 2003, for the purchase, sale or use of personal property or nonpersonal services • Mandatory Job listing requirements with the local state employment service • Easily verified by OFCCP • Vets-100 filing 41 CFR § 60-300

  47. Assistance from OFCCP

  48. Compliance Assistance • Ask OFCCP a specific question: • Call: 1 (800) 397-6251 press 1 for AAP • Or local office, listed in the brochure provided with the scheduling letter • E-mail: OFCCP-Public@dol.gov • http://www.dol.gov/ofccp/ • Bookmark or save as a favorite

  49. Website • http://www.dol.gov/ofccp/ • Bookmark or save as a favorite • FAQ – Frequently Asked Questions • Compliance Assistance • Highlights • Most Requested Items • Phone Numbers of the various offices and key contacts

  50. QUESTIONS???

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